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FINRA Awards for Guenter S. Cohn

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Displaying 11-20 out of 26 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0080104/04/2012Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Samuel E. Endicott
Respondent(s): David Chapman, Paul Clayton, Sheri Chapman, Sherry West, EPWM Group.
Respondent Lawyers(s): Brian S. Harnikorate Officer, Michael P. McCloskey, Michael T. Conway
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, James A. Bush
Hearing Site: San Diego, CA
10-0449410/07/2011Claimant(s): Gene Hedlund, Janice Hedlund, Odyssey 2000-Friar's Branch Crossing, Gene A. Hedlund IRA, Janice M. Hedlund IRA, Odyssey 2000 Rev Trust dtd 8/14/1989
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): John Lauer, Waveland Capital Partners LLC
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Sidney Jacobsen, Guenter S. Cohn, Katherine Jane Morris
Hearing Site: San Diego, CA
Checkmark Icon$0
11-0064607/06/2011Claimant(s): Dr. Henry & Patrice Kankowski
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12206
11-0064707/06/2011Claimant(s): Dr. James & Nada Eischen
Claimant Lawyers(s): Matthew R. Miller
Respondent(s): Jonathon Webster, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Guenter S. Cohn, Kevin K. Forrester, Nils Stephen Sandberg
Hearing Site: San Diego, CA
Checkmark IconDismissed by Rule 12206
10-0454805/09/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
09-0264104/27/2011Claimant(s): M. Michele Sawyer
Claimant Lawyers(s): Jeffrey P. Lendrum
Respondent(s): Carlos Legaspy, Horwitz & Associates.
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): Guenter S. Cohn, Cynthia B. Stone, E. Milton Frosburg
Hearing Site: San Diego, CA
Checkmark Icon$0
09-0380302/22/2011Claimant(s): Gilbert Lee, Lee Family Trust
Claimant Lawyers(s): Marc D. Mabile
Respondent(s): Bart Martinez, Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
Checkmark Icon$34,305
10-0108402/15/2011Claimant(s): IRA Susan C Trump, Roth IRA Susan C Trump, Hudson Bay Sea Food Age-Weighted Profit, Charles and Virginia Konjoyan Trust, SC Trump 2004 Trust
Claimant Lawyers(s): Susan Trump
Respondent(s): Jeffrey Mccoy, Mollyjo Miller
Respondent Lawyers(s): Michael J. Abbott
Arbitrator(s): Guenter S. Cohn, D. Brad Callen, Robert Alan Merring
Hearing Site: San Diego, CA
Checkmark IconExpungement
09-0178211/16/2010Claimant(s): Joanne Tweed
Claimant Lawyers(s): Joanne Tweed
Respondent(s): UBS Financial Services Inc., Mark Swan
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Gunnar Thowsen, Guenter S. Cohn, Thomas L. Marshall
Hearing Site: San Diego, CA
Checkmark Icon$0
09-0389603/02/2010Claimant(s): Bradley Mccord, Tracy Turner
Claimant Lawyers(s): Tracy Turner
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA

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